The Records Management Society of the United Kingdom defines records management as “the process by which a company manages all elements of records, whether externally or internally generated and in any format or type of medium, from inception / receipt, until its elimination “. . In this digital age, many organizations have put in place comprehensive systems to ensure that electronic records are safely stored and backed up, with a plan in place in the event of an unexpected crisis. This makes perfect sense, as some estimates suggest that more than 90% of companies that have experienced a major data processing disaster will close within 5 years.
These days, most employees rely on electronic systems to do their jobs, and lost or damaged files can spell disaster. However, while IT systems are often carefully considered and any perceived emergencies planned, paper records can often be neglected. It is difficult to pin down why this is so, except to say that manual records may not be considered important compared to expensive IT systems. Perhaps it is also the case that the mere physical appearance of a paper record makes people believe (wrongly) that it is not as important to protect it as a computer file that could be more easily destroyed or corrupted. But taking this point of view is ill-advised and shortsighted.
Many organizations have a legal obligation to keep certain records for a specific period of time. For example, financial institutions are now required to maintain mortgage loan files for up to ten years after the loan has been repaid. Some medical records must be stored for the life of the patient and government institutions are now required to keep certain records for up to 50 years. Companies pay a high price for maintaining inadequate records. In January 2003, the Bank of Scotland was fined £ 1.25 million for breaching anti-money laundering rules on customer identification because it had not kept a copy of the customer identification or a record of where the customer was identified. kept. Often there is a legal requirement to keep the original paper document, even when it exists electronically and in any action, the legal weight of the records will be greater if the original version is produced. The Business Archives Council, which promotes the preservation of historically important business records, offers other reasons why it may be wise to keep original documents.
Among its points are:
* Transparent corporate governance
Good record keeping is an integral part of transparent corporate governance. The implementation of the Sarbanes-Oxley Act in the US has led to increased scrutiny of an organization’s internal controls and practices. Reliable and accurate records serve as the foundation for a company’s reporting systems and ensure they adhere to best practices.
* A key part of Corporate Social Responsibility
Taking care of your assets can be a key part of a Corporate Social Responsibility policy. Companies have had an impact on the lives of their staff, clients, shareholders, and the communities in which they operate. Business records record how lives have been affected and changed. Some companies have publicly acknowledged that their own stories are an important piece in the puzzle of the past and that they have a duty to care for their own files. Making business archives accessible to the public is a real contribution to the community.
* Brand building
The past can be used to support current performance. Archives add detail and depth to a company’s public image, differentiating it from the competition. Celebrating important anniversaries or birthdays brings the enduring nature and accomplishments of the business to the fore. Historical information and images can also be used to support particular brands that emphasize their position in the market.
* A market for nostalgia
Exploiting your assets can generate income. Companies with well-known packaging and advertising logos and images can license their reproductions in many ways: Guinness Toucan, Colman’s mustard, and Pears soap are just a few examples of well-known images that bring money to their owners.
* Education
Files can be used within a company to inform and educate new employees about a company’s history and successes and to convey the company’s values and principles. The files can also be used as an educational resource by students of all ages; Some companies have produced highly popular and prestigious educational resources for school children.
Clearly some of these points would not be included under the heading of “Business Critical”, but they do provide more background on why paper records can be so important.
The first general rule of thumb for any organization should be to evaluate its records according to the following criteria: business value, legal value, administrative value, historical value. Records can be classified as vital, important, useful, or nonessential. For those records that are deemed vital, the next step is to make sure that storing those records is an integral part of your business continuity plan and this means considering how and where they are stored. In exactly the same way that you would protect your IT systems and electronic records, you should consider potential disaster scenarios and how you can protect yourself against the loss or damage of those records.
For many businesses, the first obvious factor to think about is physical location. A note from Morgan Stanley Brokers in June 2003 estimated that 70% of companies store records at their own facilities. Clearly, this has huge implications if that office is subject to any kind of negative event. The horrific and devastating events of September 11 all too clearly showed the potential risks of storing vital business records on site with many thousands of important documents destroyed. But if it is not in the place, what is the best place? Some companies rule out off-site storage for those records that are considered “ active ” as they may worry that if they need them, it will be a difficult process to retrieve them, but any professional records management company should be able to return a document. . to you within 24 hours and / or a scanned electronic version within a few hours.
If that is not acceptable, consideration should be given to copying the record and placing the original off-site. The same factors apply to long-term or “idle” storage. When deciding on an external storage provider, another important point to consider includes the environmental conditions of the site. Paper should be stored at constant cold temperatures with a tight humidity band. BS5454 is worth reading as it sets the environmental standard for archival document storage. Other points to assess include the risk of floods, fires, or terrorist attacks and, should any of these occur, how the records management company in question plans in advance to handle it.
The National Archive, formerly known as the Office of Public Records, has some of the most important records in the country. Acting as the official archive of the UK government, The National Archives looks after many thousands of documents containing 900 years of history from the Domesday Book to the present. The National Archives keep most of their material at their headquarters in Kew, but they also keep some of their archive off-site at DeepStore. They suggest that, in order to minimize damage to paper records, organizations should consider the following when planning a disaster.
* The best way to deal with potential disasters is to prevent them from happening. A first step is to identify and assess sources of potential risk in terms of the probability of an incident occurring and the likely impact if it occurs, including recovery costs.
* The process should include a detailed inspection of the facilities and operational activities on the site, and consultation with staff in each work area, particularly those such as caretakers or cleaners who have day-to-day responsibility for the building. It may also be necessary to consult specialized outside sources for advice from individuals such as fire prevention offices, safety consultants, insurance providers, and a qualified conservator.
* Risk assessments should be reviewed at least annually to account for changing circumstances, and a systematic record of any past incidents will help refine those assessments.
* In addition, it is important to be aware of temporary increases in risk, for example due to the presence of contractors on site, extreme weather conditions, unusual activity at adjacent facilities. Common sources of risk for paper records (of varying degrees of severity) include extreme weather, roof leaks, plumbing problems, smoking, improper storage of flammable materials, faulty electrical wiring, lighting, arson, or vandalism (up to half of UK fires are deliberately started), gas leaks, nearby workplace accidents and terrorism.
Anna Buelow, Head of Preservation for The National Archives, gives some advice on how a business should approach a problem if, despite planning to avoid it, the worst happens and water damages paper records. She explains: “The main concern in a disaster situation is taking the necessary steps to save or limit the damage to as many records as possible. Ideally, the recovery process should begin with a preliminary assessment of those documents in the area, designated as the most valuable or important, identified by the first senior staff member to arrive at the site.
“For slightly damaged material, it may be possible to air dry the items. This should be done in a large, well-ventilated area and supervised by an experienced professional if possible. Anything that is saturated should be taken out of the boxes, packed in plastic bags. polyethylene and labeled. Then, they must be frozen and treated by a specialized agency. “
And what about fire damage? The specialist company Harwell Restoration Services offers the following advice: “Depending on the design of a given building during a fire, smoke residues can travel great distances from the source of the actual fire, which could cause widespread damage, even if the fire in if it only affected one. Within an office or library, this smoke can present a huge problem, as without restoration, damaged paper will not be safe or practical to use. Fire damage can be restored in the vast majority of books. The tight paper will not necessarily burn and the damage, mainly caused by smoke residue, is generally limited to the outer edges, leaving the information inside the book block, file box or file intact. “
Therefore, when considering off-site records management companies, it is important to ensure that they have top-notch storage facilities. Look carefully at all of your systems and ask lots of questions. It’s also worth thinking about where they are located, as even if your building or unit appears safe, a fire or flood in a neighboring unit could cause real problems.
Despite the emergence of the so-called ‘electronic age, it is clear that paper records will need to be stored for many years. In light of this, it is vital that they are treated as a key part of the business and the business continuity plan of all companies must take this into account.